worth investor ,” and “ high net worth investor ” shall have the same meanings as the definitions of such terms specified in the Notification of the Securities and Exchange Commission concerning the
worth and ultra-high net worth investors whose qualifications are as specified by the SEC Thailand. Yes No If “No”, please specify __________________________________________________
เกี่ยวกับกระบวนการขายผลิตภัณฑ์ในตลาดทุน 3.1.1 การจัดประเภทผู้ลงทุนรายใหญ่พิเศษ (ultra high net worth : “UHNW”) และผู้ลงทุนรายใหญ่ (high net worth : “HNW”) ผู้ประกอบธุรกิจต้องมีแนวทางการพิจารณาคุณสมบัติ
securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
Net Worth Investor and High Net Worth Investor . “ultra-high net worth investor” 6 means an ultra-high net worth investor under the Notification of the Securities and Exchange Commission Re
clients: (1) any person who is sixty years old or older; (2) any person with limited knowledge on finance or no investment experience; and (3) any person with limitations on communication or decision-making
institutional investor under the Notification of Securities and Exchange Commission concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ high net worth
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the